Category: Unsuitable Investments
Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor James Lowther (CRD# 2043169) who is alleged to recommend unsuitable investments, including energy stocks and master limited partnerships (MLPs)? Lowther has been registered with Merrill Lynch, … Continue reading
Were you the victim of Hennion & Walsh, Inc. financial advisor Stephen Kowalski (CRD# 1919574) regarding unsuitable investments in municipal bonds or Puerto Rico bonds? Kowalski has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 1990. … Continue reading
Were you a victim of former Oppenheimer & Co. Inc. financial advisor Leslie Flaum (CRD# 1369557) regarding unsuitable recommendations and other securities violations? Flaum was registered with Oppenheimer & Co. Inc. in Melville, New York from 1994 to August 2017. … Continue reading
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Garden State Securities, Inc. broker Jason Zwibel (CRD# 2460258) regarding unsuitable investments, negligence, and other securities violations. Zwibel has been registered with Garden … Continue reading
Were you the victim of former PlanMember Securities Corporation broker Raymond Menna (CRD# 1918097) who is alleged to engage in unauthorized trading, unsuitable investments, and other securities violations? Previously, Menna was registered with PlanMember Securities Corporation in Farmingville, New York … Continue reading
In January 2018, FINRA awarded a group of 17 investors $4.3 million, alleging that former First Allied Securities Inc. financial advisor Anthony Diaz (CRD# 4131948) put their retirement savings into risky, unsuitable investments. Diaz and First Allied Securities Inc. must … Continue reading
Erez Law is currently investigating former Raymond James & Associates, Inc. financial advisor James Edward Lyons (Eddie Lyons) (CRD# 1020397) regarding unauthorized trading and unsuitable investments in high risk Master Limited Partnerships (MLPs). Lyons was registered with Raymond James & … Continue reading
Erez Law is currently investigating Wunderlich Securities, Inc. financial advisor Jack McBride (CRD# 2517946) regarding unsuitable investments and other securities violations. McBride has been registered with Wunderlich Securities, Inc. in Birmingham, Michigan since 2014. Previously, he was registered with Ameriprise … Continue reading
Erez Law is currently investigating former Legend Equities Corporation financial advisor Walter Marino (CRD# 2121623) regarding unsuitable recommendations and excessive commissions in customer accounts. Marino was registered with Marino was registered with Benjamin Securities, Inc. in Hauppauge, New York from … Continue reading
Erez Law is currently investigating former Royal Alliance Associates, Inc. financial advisor Mark Perry (CRD# 1219294) regarding unsuitable investment recommendations to elderly clients. Perry was registered with Independent Financial Group, LLC in Mt. Pleasant, South Carolina from April to September … Continue reading